finra

Markets

Sec

Stonewalled by FINRA, Up to 40 Crypto Securities Wait in Limbo for Launch

Wall Street watchdog FINRA has sat for as long as 12 months on roughly 40 broker-dealer applications by blockchain startups.

By Nikhilesh De

Sponsored

Jun 17, 2019 at 1:00 p.m. UTC

Jun 17, 2019

SECstartupsFINRARegulationNewsLegalBroker-DealersFeaturesus-canada

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Markets

Mining

FINRA Fines Ex-Merrill Lynch Investment Adviser Over Crypto Mining Sideline

U.S. self-regulatory organization FINRA has fined and suspended an investment adviser over undeclared cryptocurrency mining activities.

By Daniel Palmer

Sponsored

Jun 13, 2019 at 10:10 a.m. UTC

Jun 13, 2019

MiningFINRAUSRegulationNewsus-canada

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Markets

Security

Ethereum Investment Vehicle Approved for Small Investors

FINRA has approved Grayscale Investments' ethereum trust shares for sale to mom-and-pop investors.

By John Biggs

Sponsored

May 23, 2019 at 8:00 p.m. UTC

May 23, 2019

SecurityFINRABankingNewsSecuritiesGrayscale

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Markets

Circle

Circle's SeedInvest Takes Step Toward Tokenizing Stocks With Trading License

SeedInvest, the equity crowdfunding platform owned by crypto startup Circle, just got a license to facilitate trading of traditional securities.

By Nikhilesh De

Sponsored

Apr 26, 2019 at 2:00 p.m. UTC

Apr 26, 2019

CircleFINRANewscapital marketsSeedInvestbusiness news

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Markets

Finra

Is ConsenSys Startup Token Foundry Dead or Doing Something Different?

Since losing its founder in August, sources say ICO platform Token Foundry is alive in name only.

By Brady Dale

Sponsored

Feb 6, 2019 at 7:00 p.m. UTC

Feb 6, 2019

FINRANewsConsenSysinitial coin offeringsSecurity Tokens

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Markets

Fraud

In First, FINRA Files Fraud Complaint Against Crypto Broker

The Financial Industry Regulatory Authority (FINRA) has filed a securities fraud complaint against a cryptocurrency broker.

By Nikhilesh De

Sponsored

Sep 11, 2018 at 2:44 p.m. UTC

Sep 11, 2018

FraudFINRANews

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Markets

Finra

FINRA Wants to Know All About Member Firms' Crypto Activities

The U.S. financial self-regulatory body is asking member firms to submit every detail of their existing or future activities in cryptocurrency.

By Wolfie Zhao

Sponsored

Jul 9, 2018 at 8:00 a.m. UTC

Jul 9, 2018

FINRACryptocurrencyRegulationNewsLegalrepublishedus-canada

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Markets

Exchanges

Crypto Startup Uphold Moves to Become Licensed U.S. Broker-Dealer

Digital money platform Uphold is looking to become a Finra-registered broker-dealer following a new acquisition, the company says.

By Nikhilesh De

Sponsored

Jun 27, 2018 at 12:10 p.m. UTC

Jun 27, 2018

ExchangesSECFINRAMerchantsRegulationNewsSecuritiesUpholdSecurity TokensBreakingbroker-dealeruse-cases-verticalsbusiness news

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Markets

Finra

Tezos Co-Founder Sanctioned By US Financial Watchdog

Arthur Breitman, co-founder of cryptocurrency project Tezos, has been barred by FINRA from any association with broker-dealers for two years.

By Wolfie Zhao

Sponsored

Apr 20, 2018 at 8:20 a.m. UTC

Apr 20, 2018

FINRARegulationNewsLegalTezosus-canada

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Markets

Scams

FINRA: Beware Public Stocks That Tout Cryptocurrency Connection

FINRA, a self-regulatory authority for the financial industry in the U.S., has issued a new warning about cryptocurrency-related stock fraud.

By Wolfie Zhao

Sponsored

Dec 21, 2017 at 7:45 p.m. UTC

Dec 21, 2017

ScamsFINRACryptocurrencyRegulationNewsSecurities and Exchange CommissionMarketsLegalMarkets Newsus-canada

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